The Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) are...
Compliance risks don’t announce themselves. Even firms with robust programs may face hidden vulnerab...
The U.S. Securities and Exchange Commission’s (SEC) latest pivot toward “clear and simple” rules for...
Background In February 2024, the SEC and CFTC adopted amendments to Form PF designed to strengthen s...
For state-registered investment advisers, compliance is rarely straightforward. Even if you operate ...
Artificial Intelligence (AI) is no longer a distant frontier—it is reshaping financial services toda...
In today’s ever-changing financial services landscape, more advisers are breaking away from larger f...
In today’s regulatory environment, firms can’t afford to “wait and see” when it comes to compliance.